®

AUTHORISATIONS

EASY DOES IT

Our FCA Manuals Service

We're about one thing only - making life easier for compliance officers.

​

We've taken the heat out of writing the dreaded compliance manual - which you'll need for your authorisation application and meeting your regulatory obligations going forward.

​

Our manuals are written and kept up to date by award-winning compliance specialist Gordon McMurray, founder of NRS Regulatory Services Ltd (which traded as National Regulatory Services in the UK). He has over 30 years of international regulatory experience at the coalface - as a compliance officer, consultant and investigator. So he knows exactly what's required.

​

The manuals are proofread and produced by communications specialist Fiona Richardson.

​

They come in many flavours - just choose the one that best suits your type of business:

MiFID retail firm - full version

MiFID retail firm with no appointed reps

MiFID retail firm with no non-investment insurance business

MiFID retail firm with no alternative investment funds

​

MiFID non-retail firm - full version

MiFID non-retail firm with no appointed reps

MiFID non-retail firm with no alternative investment funds

​

Non-MiFID retail firm - full version

Non-MiFID retail firm with no appointed reps

Non-MiFID retail firm with no alternative investment funds

​

Non-MiFID non-retail firm - full version

Non-MiFID non-retail firm with no appointed reps

Non-MIFID non-retail firm with no alternative investment funds

​

​

​

You can download your manual from our shop here and now and maintain it yourself. Or, if you want it maintained for you to reflect FCA Handbook rule changes, you can choose the quarterly updating option. This will give you a fresh version each quarter for a year. At the end of that year, we'll send you an invitation to re-subscribe for the following year.

If you prefer more personalisation, just give us a call and we'll see what we could do. See below for our free guide on manuals, which includes a list of the content of our MiFID retail version.